Richard J. (Rick) PaleyExecutive Director, Global Head of Compliance Policies
Greater New York City Area
Executive Director, Global Head of Compliance Policies
Subject Matter Expert
Chief Risk Officer, Associate General Counsel, Executive Director (GC and Chief Compliance Officer)
Director of Compliance, Associate General Counsel, Senior Vice President
Director of Broker Dealer and Investment Adviser Compliance, Corporate Secretary, SVP
Chief Legal & Regulatory Compliance Officer, Associate Counsel
Director, Counsel: Enterprise-Wide Investigations, Internal Audits, New Ethics Code, Risk Consulting
Litigation Associate
Special Counsel, Enforcement
2007 to Present
Brooklyn Law School
St. Lawrence University
The Hebrew University
Recommendations: 2
Alternative Investments
Financial Regulation
Litigation
Private Placements
Internal Investigations
Project Management
Mutual Funds
Hedge Funds